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Risk Alert about examination selection process comes from SEC

SEC sign and logo on the building in Washington, DC.
Photo: JHVEPhoto/Getty Images

Julie DiMauro

1 min read
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The SEC issued a new Risk Alert for Investment Advisers about its risk-based approach for selecting advisers to examine.

A new Risk Alert from the US SEC, issued Wednesday, provides additional information regarding the Examinations Division’s process of selecting which registered advisory firms to examine.

The Risk Alert says the Division may select an adviser to examine because of a firm’s particular risk characteristics (its business activities, conflicts of

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